Important forms and guides for regulated entities

This section provides important documents, forms and questionnaires published by the Compliance and Enforcement Branch that may apply to your federally regulated financial entity.

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Federally regulated financial institutions

Forms

To report compliance issues:

• Reportable compliance issues summary report (PDF, 827 KB)​

To report complaints in the aggregate method:

• Reportable complaints aggregate report (PDF, 244 KB)​

To report complaints in the detailed method:

• Reportable complaints nil report (PDF, 150 KB)
• Reportable complaints summary report for consumer provisions (PDF, 827 KB)​
• Reportable complaints report for voluntary codes of conducts and public commitments (PDF​, 153 KB)​

Guides

• Reportable complaints aggregate report guide for consumer provisions (PDF, 320 KB)
• Reportable complaints aggregate report guide for voluntary codes of conduct and public commitments (PDF, 181 KB)​

External complain​​​ts bodies

For​ms

To report comp​liance issues:

• Reportabl​e compliance issues summary report
  • ​External complai​nts bodies (PDF, 827 KB) 
  • Syste​mic bank issues reported by the external complaint body (PDF, 826 KB)

• Reportable ​complaints aggregate report (PDF, 246 KB)
  

Gui​des

• Reportable complaint​s agg​regate report guide for consumer provisions (PDF, 203 KB)​
  

Payment card network operators

Forms

• Reportable compliance issues summary report (PDF, 827 KB)

• Reportable complaints aggregate report (PDF, 182 KB)​

Template

• Common complaint handling template for payment card network operators and acquirers (PDF, 93 KB)​

Guides

• ​Complaint handling procedure information for the Code of Conduct for the Credit and Debit Card Industry in Canada
  • Frequently asked questions on the complaint handling process and template​
• Instructions, timelines and reporting guide for aggregate reporting on the Code of Conduct for the Credit and Debit Card Industry in Canada
  • ​​Frequently asked questions: Reporting Guide for the Code of Conduct for the Credit and Debit Card Industry in Canada​

Deadlines

• Reportable complaints aggregate report deadlines for FRFIs
• Reportable complaints aggregate report deadlines for PCNOs​​
• Reportable compliance issues reporting timelines deadlines for all FRFEs

For further information on templates and deadlines, please visit our Compliance Framework page on our website.​​​​​​​​​​​​​​​​​​​​​​​